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5//SEC Filing

Pittman Scott M. 5

Accession 0001437749-22-009781

CIK 0001091596other
View on SEC.govCompany Profile

Filed

Apr 25, 8:00 PM ET

Accepted

Apr 26, 9:23 PM ET

Size

15.9 KB

Accession

0001437749-22-009781

Insider Transaction Report

Form 5
Period: 2020-12-31
Nuo Therapeutics, Inc.AURX
Pittman Scott M.
Director10% Owner
Transactions
  • Award

    Common Stock

    2020-10-05$0.40/sh+300,000$120,000→ 3,235,800 total
  • Award

    Common Stock

    2020-10-05$0.40/sh+82,545$33,018→ 3,318,345 total
  • Award

    Warrants to purchase Common Stock

    2020-10-05+322,635→ 322,635 total
    Exercise: $0.40From: 2020-10-05Exp: 2025-10-05→ Common Stock (322,635 underlying)
  • Award

    Common Stock

    2020-10-05$0.40/sh+25,000$10,000→ 3,343,345 total
  • Disposition to Issuer

    Warrants to purchase Common Stock

    2020-10-05−45,000→ 0 total
    Exercise: $0.40→ Common Stock (45,000 underlying)
  • Award

    Warrants to purchase Common Stock

    2020-10-05+900,000→ 900,000 total
    Exercise: $0.40From: 2020-10-05Exp: 2025-10-05→ Common Stock (900,000 underlying)
Footnotes (9)
  • [F1]Transaction approved by Board of Directors of Issuer and Non-Employee Directors
  • [F2]Compensation shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
  • [F3]Conversion shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
  • [F4]Purchase shares acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
  • [F5]Acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
  • [F6]The reported transactions involved a recapitalization resulting in the deemed cancellation of the "old" warrants and the deemed grant of "replacement" warrants.
  • [F7]Cancelled in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020
  • [F8]Originally exercisable on 11/15/19 and 12/06/19, with expirations of 11/15/24 and 12/06/24, respectively, for 15,000 shares and 30,000 shares
  • [F9]Compensation warrants acquired in accordance with Recapitalization Agreement Schedule dated as of October 5, 2020

Documents

1 file

Issuer

Nuo Therapeutics, Inc.

CIK 0001091596

→
Entity typeother

Related Parties

1
  • filerCIK 0001674752

Filing Metadata

Form type
5
Filed
Apr 25, 8:00 PM ET
Accepted
Apr 26, 9:23 PM ET
Size
15.9 KB
View on SEC.gov